Wealth Services, Senior Manager
About The Position
The Wealth Services Senior Manager helps shape the client engagement experience through commercial judgment, entrepreneurial thinking, and a client-centered approach. The role manages a team of associates and serves as the primary representative for an assigned book of business, while helping design and test new client engagement approaches. It leads associates across advice, sales, and service to deliver a strong client experience and support business growth. The position balances day-to-day team leadership with longer-term strategy. It involves coaching associates, overseeing service and engagement activities, supporting sales and retention efforts, and contributing insights that strengthen the client relationship model. The role also oversees team operations, addresses complex client issues, and maintains oversight of operational risk and regulatory and compliance requirements.
Requirements
- Bachelor’s degree or equivalent combination of education and relevant experience.
- At least 8 years of relevant work experience, including at least 2 years of management experience.
- FINRA Series 7, Series 24, and Series 66 are required and will be supported for this role.
- Obtain and maintain appropriate FINRA registrations, as applicable to the position and in accordance with firm policy and regulatory requirements.
Nice To Haves
- CFP designation.
- Leadership experience in a client-facing financial services environment, with a proven ability to coach, mentor, and develop associates.
- Strong operational management skills, including oversight of service execution, quality, and performance metrics.
- Strong communication and interpersonal skills, with the ability to influence and inspire others.
- Ability to resolve complex client issues and manage escalations effectively.
- Knowledge of industry best practices, regulatory expectations, and compliance requirements.
- Ability to support sales and retention strategies that drive business growth and client success.
- Executive presence and confidence representing the team with clients and stakeholders.
- Adaptability and change leadership, including experience guiding teams through new processes, pilots, or organizational change.
- Commitment to continuous improvement and measurable outcomes for clients and the business.
Responsibilities
- Develop and execute strategies to drive growth, support advisory and financial goals, and deliver strong client outcomes for an assigned book of business.
- Partner with managers and cross-functional teams to share best practices and improve team effectiveness.
- Contribute insights to the evolution of client coverage, service models, and business strategy.
- Monitor market trends and competitor activity to inform decisions and identify growth opportunities.
- Lead, coach, and develop a team of advisors, sales associates, and service associates.
- Foster an inclusive, collaborative team culture centered on communication, accountability, and continuous improvement.
- Guide associates through new processes, initiatives, and pilots while reinforcing best practices and operational excellence.
- Monitor team performance and provide reporting, insights, and recommendations to leadership and stakeholders.
- Oversee daily team operations, including call activity, scheduling, service execution, performance metrics, and quality control.
- Represent the team in client communications, webinars, and selected public-facing activities.
- Oversee client engagement initiatives, including virtual education events, outreach campaigns, and programs designed to deepen relationships.
- Serve as an escalation point for complex client issues and help deliver timely, compliant, effective solutions.
- Maintain oversight of operational risk, complaint resolution, and regulatory and compliance requirements.
- Build and sustain long-term client relationships that support satisfaction, trust, and retention.
Benefits
- Competitive compensation and eligibility for an annual/discretionary bonus.
- Generous retirement plan.
- Employee stock purchase plan with matching contributions.
- Hybrid work schedule and flexible and remote work opportunities.
- Health and wellness benefits, including medical, dental, and vision coverage and online therapy.
- Paid time off for vacation, illness, medical appointments, and volunteering days.
- Family care resources, including fertility and adoption benefits.
- Tuition assistance.
- Wellness programs, including fitness reimbursement and an Employee Assistance Program.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
